---
kind: "section"
citation: "5 C.F.R. § 9701.401"
title: "5"
number: "9701.401"
heading: "Purpose."
url: "https://uscodex.org/cfr/5/9701.401"
---

# §9701.401. Purpose.

- (a) This subpart provides for the establishment in the Department of Homeland Security of at least one performance management system as authorized by 5 U.S.C. chapter 97.
- (b) The performance management system established under this subpart, working in conjunction with the pay system established under subpart C of this part, is designed to promote and sustain a high-performance culture by incorporating the following features:
  - (1) Adherence to merit principles set forth in [5 U.S.C. 2301](/usc/5/2301.md);
  - (2) A fair, credible, and transparent employee performance appraisal system;
  - (3) A link between elements of the pay system established in subpart C of this part, the employee performance appraisal system, and the Department's strategic plan;
  - (4) Employee involvement in the design and implementation of the system (as provided in [§ 9701.105](/cfr/5/9701.105.md));
  - (5) Adequate training and retraining for supervisors, managers, and employees in the implementation and operation of the performance management system;
  - (6) Periodic performance feedback and dialogue among supervisors, managers, and employees throughout the appraisal period, with specific timetables for review;
  - (7) Effective safeguards so that the management of the system is fair and equitable and based on employee performance; and
  - (8) A means for ensuring that adequate resources are allocated for the design, implementation, and administration of the performance management system that supports the pay system established under subpart C of this part.

## Notes

### Authority

Authority: 5 U.S.C. 9701.

### Source

Source: 70 FR 5318, Feb. 1, 2005, unless otherwise noted.